• Posts by Jennifer R. Trowbridge, Esq.
    Jr. Partner

    Jennifer Trowbridge, Esq. serves as Jr. Partner at Jacko Law Group, PC (“JLG”) where she provides corporate and regulatory counsel to clients with diverse business models and various backgrounds. Within her practice, Ms ...

The Many Recent Signals that Foreshadow a More Aggressive SEC  in Terms of Enforcement Action and Stiffer Penalties for Wrongdoers

The first few months of 2021 have marked a clear shift in how the U.S. Securities and Exchange Commission (SEC) could soon start holding corporations to a much higher standard of accountability for actions that harm investors. A central theme of the SEC’s emerging mindset, as stated in a March 9, 2021, speech by Commissioner Caroline Crenshaw is the belief that corporate culture comes from the top and there is a strong need to incentivize companies to foster a culture of compliance, not misconduct.

New SEC Climate Change and ESG Task Force to Enhance Investor Protection by Red Flagging Examples of Corporate Greenwashing

Several recent actions and statements made by the U.S. Securities and Exchange Commission (SEC) have underscored its plans to prioritize enforcement of climate change and other environmental, social, and governance (ESG) issues in 2021.

Safeguarding Your Firm Against Fraudulent or Improper Recognition of Revenue

A recent enforcement action by the U.S. Securities and Exchange Commission ("SEC") provides valuable insight for firms seeking to prevent improper recognition of revenue, a common type of accounting fraud regulators contend with each year.

New Advisers Act Advertising Rule to Undergo Further Review

Investment Advisory firms that are eagerly awaiting the revisions recently adopted by the U.S. Securities and Exchange Commission (SEC) to the archaic Advisers Act Advertising Rule previously anticipated to become effective this spring, will have to wait a bit longer.  The Advertising Rule prepared and approved under the former Trump Administration is now required to undergo review by the newly installed Biden Administration.

Area of Focus for Your Annual Review: Code of Ethics

The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”).

Remaining Vigilant Against Investment Fraud During the COVID-19 Pandemic

Stress created by high jobless rates. Acrimonious political debate over acceptable levels of federal assistance. Rampant fear and uncertainty while awaiting the arrival of an effective coronavirus vaccine.

SEC Charges San Antonio CEO with Defrauding Investors Including First-Responders

On July 30, 2020, the Securities and Exchange Commission (“SEC”) announced it was bringing charges against San Antonio-based CEO, Victor Lee Farias, and his firm, Integrity Aviation & Leasing (“IAL”), for defrauding investors, including police officers and other first-responders, out of approximately $14 million.

SEC Releases Last-Minute Updates to Form CRS FAQs

On Friday, June 26, the U.S. Securities and Exchange Commission (“SEC”) released updated responses to FAQs regarding Form CRS. Notwithstanding the timing of the updated FAQs, the additional guidance offers supplementary and expanded information regarding the SEC’s stance on important considerations for the Form CRS including:

ICO To Return $25 Million to Investors

On May 28, 2020, the Securities and Exchange Commission (“SEC”) announced that San Jose-based block chain services firm BitClave PTE Ltd. (“BitClave”) agreed to settle charges related to an unregistered initial coin offering (“ICO”) of digital asset securities.

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